3D/L Capital Management, LLC
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Overview
3D/L Capital Management, LLC operates as a financial advisor company based in Hartford, Connecticut. The firm administers $574.1 million in assets over 1,422 accounts, making it one of the bigger firms in the United States by assets under management (AUM). It has a small team, including 10 financial advisors. 3D/L Capital Management, LLC is not a registered broker-dealer, signifying that the firm is not able to buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer company to do so. Securities are defined as tradable financial assets like equities, options and bonds.
3D/L Capital Management, LLC oversees all of the firm's accounts on a discretionary basis. Discretionary management is a structure in which transaction decisions are made by an investment advisor without requiring the customer's permission. The company's average account size is $403,736. The average advisor at 3D/L Capital Management, LLC manages about 142 client accounts.
The company's main office is located at 100 Constitution Plaza, Hartford, Connecticut 06103-1703. The firm is legally registered to serve investors throughout 26 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
3D/L Capital Management, LLC by the Numbers
$574.1 million
14
1,422
$403.7 thousand
Products and Services
3D/L Capital Management, LLC provides multiple financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services and other services. Notably, the company did not provide financial planning services to any of its accounts in the previous financial year. The firm is not engaged in selling products or offering services aside from investment advisory services to its investment advisory customers.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees for financial management are based on the type of services offered. However, fees billed by the company may include the following fee types: asset-based or other. 3D/L Capital Management, LLC participates in a wrap fee program, in which the company offers a service bundle for a single fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 10% of firms
Other
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
Types of Clients
3D/L Capital Management, LLC caters to retail investors, high net worth investors, pension plans and charitable organizations. Out of its 1,422 clients, 3D/L Capital Management, LLC's largest client by number of accounts is retail investors, but it also serves 86 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 10.08%
- Other Individuals - 87.69%
- Corporations - 0.94%
- Charitable Organizations - 1.29%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
3D/L Capital Management, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at 3D/L Capital Management, LLC
Hartford, CT
Colorado Springs, CO
Hartford, CT
Hartford, CT
Hartford, CT
Hartford, CT
Hartford, CT
Hartford, CT
Northborough, MA
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